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Sherman Yu

TWO Sigma Execution Services, LLC

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About Sherman Yu

Sherman Yu has been in the financial services industry since December 2005. Currently, Sherman Yu is registered with Two Sigma Execution Services, LLC and Two Sigma Securities, LLC. Sherman Yu has a Series 7, Series 24, Series 63, Series 99 and SIE. Sherman Yu is licensed in New York. Sherman Yu was previously registered with Barclays Capital Inc., Prime Dealer Services Corp. and Morgan Stanley & Co. LLC.

Firm Information

Sherman Yu is currently registered with TWO Sigma Execution Services, LLC. TWO Sigma Execution Services, LLC is a Limited Liability Company formed in New York on June 1, 2023. The firm is registered with the SEC and the state of New York.

Not reported

Assets Under Management

Not reported

Total Clients

13

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Sherman Yu’s Registration & Firm History

NY

04/02/2024 - Present

TWO Sigma Execution Services, LLC (NEW YORK NY)

NY

09/01/2011 - 07/17/2017

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

06/08/2007 - 09/21/2011

PRIME DEALER SERVICES CORP. (NEW YORK NY)

NY

12/05/2005 - 09/21/2011

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

06/08/2007 - 03/06/2008

MS SECURITIES SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/13/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/02/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sherman Yu.
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